Significant shareholders

A) Shareholdings of 3% or more of the UBS share capital

Anyone holding UBS shares must notify UBS and the SIX Swiss Exchange if the holding reaches, falls below or exceeds 3, 5, 10, 15, 20, 25, 331/3, 50 or 662/3% of voting rights.

As the registration in the share register of UBS Group AG is optional, shareholders crossing the abovementioned thresholds must not necessarily appear in the below table of section B).

Nominee companies that cannot autonomously decide how voting rights are exercised are not obligated to notify UBS and the SIX Swiss Exchange.

According to the disclosure notifications filed with UBS and the SIX Swiss Exchange based on the Swiss Stock Exchange Act or, since 1 January 2016, the Swiss Financial Market Infrastructure Act:

  • On 27 September 2017, BlackRock Inc., New York, disclosed under the Swiss Stock Exchange Act a holding of 4,91% of the total share capital of UBS Group AG
  • On 10 February 2016, MFS Investment Management, Boston, disclosed under the Swiss Stock Exchange Act a holding of 3,05% of the total share capital of UBS Group AG
  • On 10 December 2014, Norges Bank (the Central Bank of Norway), Oslo, disclosed a holding of 3.30% of the total share capital of UBS Group AG.

In accordance with the Swiss Stock Exchange Act or the Swiss Financial Market Infrastructure Act, the percentages indicated above were calculated in relation to the share capital reflected in the Articles of Association of UBS Group AG at the time of the respective disclosure notification.

Information on disclosures of significant shareholdings can be found on the website of the SIX Swiss Exchange.

Information on the holding of UBS Group AG own shares can be found in our Annual Report. The respective disclosure made on the website of the SIX Swiss Exchange also includes other financial instruments and may therefore differ from the sole disclosure of our own shares made in the Annual Report.

B) Shareholders registered in the share register of UBS Group AG

According to the share register of UBS Group AG, the shareholders (acting in their own name or in their capacity as nominees for other investors or beneficial owners) listed in the table below were registered with 3% or more of the total share capital of UBS Group AG.

Shareholders registered in the share register of UBS Group AG with 3% or more of shares issued

Shareholder

30 June 2017

Chase Nominees Ltd, London

9.81%

DTC (Cede & Co.), New York*

6.63%

Nortrust Nominees Ltd, London

4.02%

We have special provisions for the registration of fiduciaries and nominees. Fiduciaries and nominees are entered in the share register of UBS Group AG with voting rights up to a total of 5% of all shares issued, if they agree to disclose upon our request, beneficial owners holding 0.3% or more of all UBS Group shares. An exception to the 5% voting limit rule exists for securities clearing organizations, such as The Depository Trust Company in New York.

Please refer to page 211 of our Annual Report 2016 for more information on Significant Shareholders.